This class was created by Brainscape user P C. Visit their profile to learn more about the creator.
By:
P C
- decks
- flashcards
- learners
Decks in this class (16)
Unit 1 | Types & Characteristics Of Equity Securities
1 owners of a corporation s equit...,
2 among the benefits of owning co...,
3 a company that has issued cumul...
8
cards
Unit 2 | Types & Characteristics Of Fixed-Income (Debt) Securities
According to standard poor s rati...,
Which of the following statements...,
A bond would be considered specul...
14
cards
Unit 3 | Pooled Investments
The investment company act of 194...,
Practice questionabc is an finra ...,
Which of the following statements...
27
cards
Unit 4 | Types & Characteristics Of Derivative Securities
Your customer is long 10 abc jul ...,
The value of a derivative is base...,
All of the following are standard...
14
cards
Unit 5 | Alternative Investments & Other Assets
In a direct participation program...,
One of the ways that investing in...,
A direct participation program is...
12
cards
Unit 6 | Basic Economic Concepts
If the consumer price index cpi i...,
A bond analyst plots a yield curv...,
The business cycle includes all o...
4
cards
Unit 7 | Financial Reporting
As a result of corporate transact...,
Which of the following corporate ...,
Potential litigation for patent i...
6
cards
Unit 8 | Regulation Of Securities & Their Issuers
Which list of instruments below i...,
Which of the following is a secur...,
Which of the following is include...
19
cards
Unit 9 | Regulation Of Investment Advisors Including State-Registered And Federal Covered
Which of the following is include...,
A person giving advice on which o...,
Which of the following investment...
18
cards
Unit 10 | Regulation of Investment Adviser Representatives
Which of the following individual...,
Under the uniform securities act ...,
Which of the following individual...
10
cards
Unit 11 | Regulation of Broker-Dealers & Their Agents
First securities corporation fsc ...,
First securities corporation fsc ...,
First securities corporation fsc ...
11
cards
Unit 12 | Remedies & Administrative Provisions
Jane is an agent registered in st...,
Jane has another state a based cl...,
Wayne and grayson ltd is a broker...
12
cards
Unit 13 | Communications with Customers & Prospects
Bjs advisory service maintains no...,
As called for on the nasaa model ...,
Fiduciary investment group fig an...
18
cards
Unit 14 | Ethical Practices & Obligations
Investment advisers and their rep...,
An investment adviser advertises ...,
One of the most significant featu...
28
cards
Unit 15 | Tax Considerations
In most cases the tax filing stat...,
Under current tax law which of th...,
One of your customers received a ...
9
cards
Unit 16 | Types of Clients
A new account is opened for joint...,
Several investors open an account...,
Which of the following individual...
16
cards
More about
series 66
- Class purpose General learning
Learn faster with Brainscape on your web, iPhone, or Android device. Study P C's Series 66 flashcards now!
How studying works.
Brainscape's adaptive web mobile flashcards system will drill you on your weaknesses, using a pattern guaranteed to help you learn more in less time.
Add your own flashcards.
Either request "Edit" access from the author, or make a copy of the class to edit as your own. And you can always create a totally new class of your own too!
What's Brainscape anyway?
Brainscape is a digital flashcards platform where you can find, create, share, and study any subject on the planet.
We use an adaptive study algorithm that is proven to help you learn faster and remember longer....
Looking for something else?
Series 66
- 6 decks
- 894 flashcards
- 1,233 learners
Decks:
1 Usa Broker Dealers Agents, 2 Investment Advisers Ethics, 3 Equity Fixed Income, And more!
Series 66
- 5 decks
- 181 flashcards
- 12 learners
Decks:
1 Uniform Securities Act Definitions, 2 Uniform Securities Act Registrations, 6 Federal Acts, And more!
Series 66 Self Study
- 22 decks
- 554 flashcards
- 18 learners
Decks:
Chapter 1 Federal Securities Regulations, Chapter 2 Sections 1 6 State Regulation, Chapter 2 Continued, And more!
Series 7
- 34 decks
- 1212 flashcards
- 30 learners
Decks:
Customer Accounts, Margin Rules, Long Margin Accounts, And more!
